Regulatory Analyst at Alberta Securities Commission

Regulatory Analyst

Alberta Securities Commission
Posted 22 days ago

Regulatory Analyst, Market Oversight
(Competition #2020.36A)

Our organization:

The Alberta Securities Commission is the industry-funded regulator responsible for administering the province's securities laws. It is entrusted with fostering a fair and efficient capital market in Alberta and with protecting investors. As a member of the Canadian Securities Administrators (CSA), the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

The Market Regulation division oversees the equities and derivatives marketplaces, registrants (dealers, advisers, and investment fund managers), and industry self-regulatory organizations (SROs). With a dynamic team of investment and financial professionals, we are involved in leading-edge projects aimed at balancing effective regulation with our stakeholders’ need for innovation and efficient capital markets.

The opportunity:

We are looking to add to our team an industry professional who wants to make a lasting impact on Alberta’s capital market by proactively identifying and analyzing risks and developing regulatory solutions to address them. This individual will form part of a team of market oversight professionals who oversee entities subject to regulation in Alberta, work closely with other regulators across Canada, and communicate ideas and recommendations directly to ASC executive management.

Key responsibilities include:

• Conducting oversight and compliance activities for exchanges and other marketplaces, including crypto asset marketplaces, subject to regulation in Alberta.
• Performing oversight reviews of regulated entities, including: conducting annual risk assessments; planning and executing on-site examinations; reviewing subsequent findings with the entities’ senior management; and preparing reports of, and presenting findings to, ASC executive management.
• Assessing the impact of existing and emerging risks in the capital market on regulated exchanges and other marketplaces and developing oversight programs to mitigate those risks.
• Researching and analyzing current and emerging Canadian and international fintech trends, risks and business models, including crypto asset trading platforms, crypto service providers and crypto market infrastructure entities.
• Assessing risk and appropriate regulatory and oversight framework for emerging fintech markets and business models.
• Analyzing and making recommendations on proposed amendments to rules and policies of regulated exchanges and other marketplaces.
• Reporting on the results of oversight activities to ASC executive management.
• Representing the ASC on CSA committees, advancing its views and objectives on oversight matters in respect of regulated entities.
• Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.

The ideal candidate will possess:

• A minimum of six years of experience in roles of increasing responsibility conducting audits and examinations, preferably in public practice with exposure to fintech business models.
• A university degree in business, finance, economics or a related discipline and a CPA, CA designation.
• Exceptional research and analytical skills, incorporating attention to detail and the ability to think critically and creatively.
• Strong communication and presentation skills, with the ability to tailor messages to their audiences both verbally and in writing.
• Strong interpersonal skills with the ability to interact with personnel at various levels of an organization.
• The proven ability to meet tight deadlines and manage multiple priorities in a changing environment.
• Experience with business process reviews, internal controls testing and IT general controls would be an asset.
• A working knowledge of Alberta’s capital markets with exposure to regulation, compliance and marketplace and exchange operations would be preferred.
• A working knowledge of current fintech operations, including crypto assets and blockchain-based business models in the crypto asset space in Canada with exposure to operations, compliance and regulation would be preferred.


Auditor, CPA, Risk management, Compliance, crypto assets, Fintech



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